Improving a Trustworthy Data Repository with ISO 16363

Transcription

1 Improving a Trustworthy Data Repository with ISO Robert R. Downs 1 1 rdowns@ciesin.columbia.edu NASA Socioeconomic Data and Applications Center (SEDAC) Center for International Earth Science Information Network (CIESIN) The Earth Institute, Columbia University Research Data Alliance (RDA) 10 th Plenary Session: IG RDA/WDS Certification of Digital Repositories Thursday, 21 September 2017; 9:00 a.m. - 10:30 a.m. Copyright The Trustees of Columbia University in the City of New York.

2 ISO ISO 16363:2012 Space Data and Information Transfer Systems Audit and Certification of Trustworthy Digital Repositories Published by the International Organization for Standardization (ISO) Developed by the Consultative Committee for Space Data Systems as CCSDS M-1 Under review by the CCSDS Data Archive Interoperability (DAI) WG Being reviewed in conjunction with review of the Open Archival Information System (OAIS) Reference Model (ISO 14721:2012) Proposed revisions will be reviewed simultaneously by CCSDS and ISO Freely available from ccsds.org: 2

3 Impetus of ISO Need for criteria to assess OAIS compliance OAIS is a reference model and does not address implementation issues Many repositories self-reported as OAIS compliant without evidence OAIS Reference Model published as ISO 14721:2003 & ISO 14721:2012 Need for an international standard for digital repositories Digital resources, including research data, recognized as being at risk Various digital repositories established with limited guidance Guidance needed for [depositors, staff, funders] to select a digital repository 3

4 ISO Development Initiated in 2007 within CCSDS Repository Audit and Certification (RAC) Working Group Reference documents: Open Archival Information System (OAIS) Reference Model (ISO 14721:2003) Trustworthy Repositories Audit & Certification: Criteria and Checklist (TRAC) Catalogue of Criteria for Trusted Digital Repositories (Nestor Working Group) Digital Repository Audit Method Based on Risk Assessment (DRAMBORA) OECD Guidelines for the Security of Information Systems and Networks Reviews CCSDS and ISO communities comments received and revisions applied Test Audits Conducted at 6 repositories (3 in Europe, 3 in US) ISO 16363:2012 Published 4

5 Organization of ISO Organizational Infrastructure Governance and Organizational Viability Organizational Structure and Staffing Procedural Accountability and Preservation Policy Framework Financial Sustainability Contracts, Licenses, and Liabilities Digital Object Management Ingest: Acquisition of Content Ingest: Creation of the AIP Preservation Planning AIP Preservation Information Management Access Management Infrastructure and Security Risk Management Technical Infrastructure Risk Management Security Risk Management Based on: Consultative Committee for Space Data Systems (2011) Audit and Certification of Trustworthy Digital Repositories: Recommended Practice. Magenta Book, Issue 1. Available: 5

6 Adoption and Use of ISO 16363:2012 Endorsement by the Society of American Archivists Council August 6, 2012 Used for self-assessments and preparation Data centers, institutional repositories, government agencies Used by professional development services Training courses, workshops, presentations, consulting, and guidance Audience: data creators, curators, repository managers, funders, consultants Used for Audits by PTAB Conducted test audits of 6 repositories using draft ISO (2011) Accredited for ISO 16363:2012 audit and certification (2017) Offers training, conducts audits, reviews applications, and answers inquiries 6

7 SEDAC Assessment: Path to WDS Certification ICSU World Data System Regular Member Application NASA ESDIS Data Archive Risk Analysis ISO (draft) External Test Audit by PTAB (2011) ISO (draft) Self-Assessment ( ) Trusted Repository Audit Checklist (TRAC) Self-Assessment ( ) NASA Security Audits (regular and continuing) Derived from: Downs, Chen, and de Sherbinin

8 Selected Improvements at SEDAC based on ISO 16363, WDS Certification, and other Resources Dissemination Information Packages derived from Archival Information Packages Improvement of data review process and procedures Assignment of DOIs for disseminated data products and documentation Conducting tests for data transfer Standardization of rights declaration statements Portfolio approach to sustainability CC By license applied to data sets developed internally Data Documentation Template Open Data Policy 8

9 SEDAC Documentation Template Documentation for <Dataset Title> <Documentation Publication Date> <Authors> Abstract Data set citation Suggested citation for documentation Contact to provide feedback on documentation Table of Contents I. Introduction II. Data and Methodology III. Data Set Description(s) IV. How to Use the Data V. Potential Use Cases VI. Limitations VII. Acknowledgments VIII. Disclaimer IX. Use Constraints X. Recommended Citation(s) XI. Source Code XII. References XIII. Documentation Copyright and License Appendix 1. Contributing Authors & Documentation Revision History Appendix 2. Data Revision History 9

10 SEDAC Continuous Improvement Image Credit: Downs & Chen 2012 Improving the Trustworthiness of an Interdisciplinary Scientific Data Archive 10

11 ISO CoreTrustSeal Relationship Complementary messages to increase awareness of instruments Informing diverse communities on requirements for trustworthy repositories Mutually-informed development of instruments Both instruments based on OAIS framework Self-Assessments for Repository Preparation ISO Self-Assessment to prepare for CoreTrustSeal Certification CoreTrustSeal Certification to prepare for ISO Audit Shared pathway for improving repository practices CoreTrustSeal Certification -> ISO ISO16363 Certification Improvement of certification processes Experiences conducting audits can inform auditing practices Improvement of Requirements Experiences with audit instruments can inform improvement of instruments 11